Tag: FINRA

How participants deal with their 401(k) assets when they leave a company is under more scrutiny from FINRA, but retirement plan advisers are less likely to be affected...

Very few advisers have a succession plan, and it’s possible that regulation is needed to protect their clients and investors, a report says.

The Office of Compliance Inspections and Examinations (OCIE), part of the Securities and Exchange Commission (SEC), released its list of examination priorities for 2014.

The Financial Industry Regulatory Authority (FINRA) has ordered Stifel, Nicolaus & Company, Incorporated and Century Securities Associates, Inc. to pay fines and restitution to customers in connection with...

Reviewing firm practices for recommending and marketing individual retirement account (IRA) rollover services will be a 2014 priority for the Financial Industry Regulatory Authority (FINRA).

The Financial Industry Regulatory Authority (FINRA) is soliciting comments on a proposal to standardize and automate account activity and security reviews for its members.

An enhanced version of BrokerCheck by the Financial Industry Regulatory Authority (FINRA) gives investors quicker access to investment professionals’ reportable events.

Lumesis’ DIVER Advisor software, a cloud-based platform, was added to LPL Financial’s suite for advisers.

A report from the Financial Industry Regulatory Authority (FINRA) scrutinizes  conflicts of interest in the broker/dealer industry to highlight effective practices to eradicate such conflicts.

The Financial Industry Regulatory Authority (FINRA)’s board  approved a proposal requiring brokers to disclose compensation paid as an incentive to move to a new firm.

At its first-ever Financial Advisor Summit, the institute unveiled a new website, social network and additional tools to help members grow their businesses.

LIMRA is offering a new training program by social media expert Erik Qualman, author of Socialnomics.  

Jonathan S. Sokobin has been named chief economist and senior vice president of the Financial Industry Regulatory Authority (FINRA).

Susan Axelrod will become executive vice president of regulatory operations at the Financial Industry Regulatory Authority (FINRA).

Legislation introduced by Congresswoman Maxine Waters would give the Securities and Exchange Commission (SEC) the authority to impose user fees on investment advisers.

It is increasingly being used as a business tool, but users can run into compliance issues on social media when they tweet or post an update.

Even with recent guidance from regulators about the correct use of social media, advisers still have plenty of questions about compliance.

The Securities and Exchange Commission (SEC) released an update to clarify how investment companies can use social media without running into filing requirements.  

Steven J. Randich was named executive vice president and chief information officer (CIO) by the Financial Industry Regulatory Authority (FINRA).  

The Financial Industry Regulatory Authority (FINRA) fined five affiliates of ING $1.2 million for failing to retain or review millions of emails.